Job Description
Join our dynamic team as a Compliance Officer in the heart of Manhattan! We provide all necessary equipment including ergonomic workstations, dual monitors, and cutting-edge compliance software. At Global Financial Solutions Inc., we foster a culture of integrity and excellence, offering competitive benefits and growth opportunities. Your expertise will directly shape our regulatory framework while enjoying a modern, fully-equipped workspace designed for peak productivity.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory updates and advise on policy adjustments
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders
- Collaborate with legal and audit teams to ensure alignment
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63/65 or 66 certifications required
- Proficiency with compliance software (e.g., Actimize, Nasdaq)
- Deep knowledge of NYDFS Part 500 regulations
- Strong analytical and investigative skills
- Exceptional written and verbal communication abilities